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Janine R. Wedel

Janine R. Wedel

Posted: May 20, 2010 07:41 AM

Shadow Elite: Derivatives, A Horror Story

What's Your Reaction:

Strange as it sounds, my experience mapping under-the-radar power in Communist Poland, as a social anthropologist, helped me identify a new breed of modern-day power broker here in the U.S. Unaccountable operators are increasingly shaping public policy to suit their own interests, a disturbing trend I examine in my book Shadow Elite.

But perhaps not as strange as this sounds: Gillian Tett's fieldwork studying marriage rituals in a mountain village in Tajikistan helped her, years later, understand how risky derivatives proliferated, and went unnoticed, until they helped detonate the global financial system. Tett is also a social anthropologist by training. Now she's a top editor/journalist for the Financial Times, by trade, and she joins others with anthropological know-how offering crucial insights on derivatives and the "dark markets" that have been key areas of combat in the financial reform fight being waged on Capitol Hill.

Tett is the author of Fool's Gold: How the Bold Dream of a Small Tribe at J.P. Morgan Was Corrupted by Wall Street Greed and Unleashed a Catastrophe. Last fall in Anthropology News, she made this comparison:

...bankers (like Tajik villagers) operate as a tightly defined group, with specific cultural patterns and a quasi language (or jargon) of their own. Also like Tajik villagers, bankers are generally trained to think in rigid "silos" and, as a result, find it hard to see how their overall system operates, or to see the contradictions in their own rhet­oric and internal organizations.

From the outside and with hindsight, the contradictions now seem glaring. Inside this closed culture, the ideals of the free market are repeatedly espoused, but not upheld. Derivatives, the exotic financial contraptions that vastly enrich the banking business, have flourished in the shadows, not in the open marketplace.

As I discuss in Shadow Elite, bankers capitalized on this aura of unmatched complexity, ever-changing technologies, and unstoppable financial "innovation", all during an era when deregulation had become the norm. They used jargon, as Tett points out, and also a stranglehold on information as weapons to obscure, making effective oversight very difficult. She elaborated in the FT on the warring Wall Street "tribes" within a single firm, and how the derivatives tribe came to dominate.

Groups such as Citi or Merrill appear to have developed a more hierarchical pattern, in which the different business lines have existed like warring tribes, answerable only to the chief. Moreover, the most profitable tribe has invariably wielded the most power - and thus was untouchable and inscrutable to everyone else. Hence the fact that, in this tribal culture, nobody reined in the excesses....

No one reined them in within the firm, the ratings agencies, or Washington. Anthropologist of finance Bill Maurer explained to me the 'complexity' narrative.
[It is one] that empowers the [bankers and their lobbyists] who can say, 'listen Congress, listen policymakers, we're the ones who know what's going on. So just back off. There's no way you can understand unless you have a degree in advanced math or advanced physics.'

Damning evidence of this kind of hubris can be seen in a statement to Congress in 1998 - when the derivatives timebomb might have been defused - from then-deputy Treasury Secretary Lawrence Summers. He clearly internalized the idea that the Wall Street pros knew best.
....the parties to these kinds of contract are largely sophisticated financial institutions that would appear to be eminently capable of protecting themselves from fraud and counterparty insolvencies.

Who else was backing off? Gillian Tett takes a hard look at her own adopted field, journalism. After sketching out how the financial banking "village" operated, she then tried to understand, as both a reporter and anthropologist, why the media largely disregarded derivatives, even as their significance and threat was growing bigger minute by minute, trade by trade. While working at the Financial Times, she began to see a similar narrative taking hold in newsrooms: that derivatives were too hard to report on, and too boring to read about.
She says this:
...in the debt and derivatives world .... bankers generally loathed publicity and would rarely give "on the record" quotes. Moreover, it was difficult to get price or trading data since deals were typically made in private, not on public exchanges, and discrete events seemed few and far between. The debt and derivatives markets did not create "stories"--or not as defined by the Western press.

Shadow Elite column editor Linda Keenan, who worked in TV financial news in the earlier days of derivatives, seconds this assessment, pointing out that in television, there's the added barrier of needing visuals: how do you put a picture to a derivative?


With journalists stumped, could anyone in the Washington power "village" stand in the way of runaway derivatives, and the banks that wanted to keep them unregulated? Ironically, there were few policymakers more capable of understanding derivatives or their real world impact than Clinton Treasury Secretary Robert Rubin and his deputy Lawrence Summers. And both were there when derivatives could have been at least partially reined in before they became, to quote Warren Buffett, "financial weapons of mass destruction." Instead they did exactly the opposite, blocking key regulation at pivotal moments, as we saw in Summers' remarks above, with Rubin going on to benefit from this deregulated Wild West when he left Washington and returned to Wall Street as a top executive.

Here again, taking an anthropological view can be instructive. Consider the elite conclaves both came from, and the biases and potential conflicts attached to them. Rubin originally came to Washington after decades at Goldman Sachs, a firm renown for its culture of invincibility. Summers came from a somewhat similar culture - Harvard - with ample faith in both himself and the efficacy of the free market.

Their boss, President Clinton, was intent on being the pro-business "New" Democrat. In the last two months, all three have tried to distance themselves from their roles in letting derivatives go unchecked. (And in true shadow elite fashion, none of them have faced the consequences of their actions. In fact, the only ones to really suffer from the failure of the elite are the non-elite, millions of regular people who've lost their jobs, houses or savings.)

And derivatives remain unchecked. Just because the economy cratered doesn't mean that all these money-printing machines have disappeared. According to calculations by Bernstein Research, Goldman Sachs could lose 41 percent of its profits if the new derivatives regulations pass. Banks generally don't break down their figures on this part of their business (surprised?), but it seems fair to estimate the percentage of the bank revenue that comes from derivatives is solidly in the double-digits (at some it could be more than 50%) To put this in perspective, imagine a food company that gets half its revenue from selling products that go totally unregulated by the FDA, and whose practices are hidden from both regulators and journalists.

Tett notes sociologist, philosopher and anthropologist Pierre Bourdieu as arguing,

...elites .... invariably try to hang onto power--not so much by controlling the physical means of production, but by also dominating the cognitive map, or social discourse. What really matters ...is not what is publicly discussed, but what is not discussed. Social silences, in other words, are crucial.

Her message: when the people in power insist a little too hard that there's no story to be found, start digging in. Tett says this should be a wake-up call for journalists and anthropologists, to question the people drawing that cognitive map. One reviewer dismissed this as "preachy" advice. It might be, if she wasn't dead right.

Linda Keenan edits the Shadow Elite column.

 
 
 

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12:33 PM on 05/25/2010
Outlaw ALL derivative, force investment back to Main Street!

"Leverage of an economy's debt

Derivatives massively leverage the debt in an economy, making it ever more difficult for the underlying real economy to service its debt obligations, thereby curtailing real economic activity, which can cause a recession or even depression. In the view of Marriner S. Eccles, U.S. Federal Reserve Chairman from November, 1934 to February, 1948, too high a level of debt was one of the primary causes of the 1920s-30s Great Depression. (See Berkshire Hathaway Annual Report for 2002)" http://en.wikipedia.org/wiki/Derivative_%28finance%29

Derivatives are a cancer on the economy.

Dereavtives suck all the money OUT of Main Street and into gambling.

Derivatives crash the world economy. times after time.

Hedge you "bets" by investing in a diversity of Main Street ventures.

That's way, everyone wins.
02:05 PM on 05/24/2010
I like the the tribes metphor. These guys are TOTALLY insulated from the realities of every day existence. This is a dangerous way to live. They all may have bunkers stuffed with caviar; however, a dead planet is a dead planet. Tribes go extinct, as well as whole ecosystems. They will ultimately deal themselve death or transition to the Morlocks they are!
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HUFFPOST SUPER USER
William1950
everything I say could be wrong.
12:57 PM on 05/23/2010
hah.. we don't need a cognitave map to tell us that the road we are on leads to a place called ruin.. unless your on the bypass and that is reserved for the .. shadow elite.
09:11 PM on 05/22/2010
Isn't it clear, that every second bankers and brokers spend thinking about derivatives, is a second they did not spend thinking about Main Street.

Every penny invested in derivatives,

is a penny Main Street did not get.

Outlaw all derivatives, force investment back to main street.

Make Main Street investments, the way you hedges you bets.

That will rescue the economy as it has before. FDR was correct.
09:29 PM on 05/22/2010
research - I think you're close, but I disagree with your suggestion that bankers are overlooking Main Street in the derivatives equation.

Instead, I think they believe they've created a charade that Main Street accepts as something too complex for common people to understand. But it's a game. It's The Emperor has No Clothes.

I don’t disagree that derivatives should be outlawed. Clearly they are nothing more than a sophisticated veneer to a simple fraud. But I don’t think the public has been forgotten as much as subjected to an audacious scam.

Time to call the snake-oil salesmen on their ploy.
10:09 PM on 05/22/2010
Sure, The Bankers and brokers take money from Main Street, and gamble it away.
01:19 AM on 05/23/2010
Oh, there are losers in derivatives trade: most investors.

Survivors Bias, makes the rich ones claim it works!

And the big ones used "too big to fail" to extort the taxpayers.
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SamEllison
I feel so clean!
10:13 PM on 05/21/2010
Ms Tett published a piece in the FT were she tracked down the
people that put together the first AAA rated product that contained
sub-prime mortgages(I was impressed even though the FT put it on page 17).
I just chased it down and it was an edited extract(their words) from her book
you mentioned at the top.
http://www.ft.com/cms/s/2/51f425ac-351e-11de-940a-00144feabdc0.html
09:30 PM on 05/21/2010
I love reading articles about financial products that the authors wouldn't understand if they tripped over them. When the first sentence reads as follows, you know the author is at best clueless and at worst trying to confuse the public:

Derivatives, the exotic financial contraptions that vastly enrich the banking business, have flourished in the shadows, not in the open marketplace.

So what we're supposed to get out of this sentence is 'Derivatives, which have existed for more than 200 years and caused no harm through the best progress of living standards in human history, are the problem because the clearing houses that bring buyers and sellers together make (a lot of) money"

There is a very legit argument to be made for derivatives to be put on exchanges and it has nothing to do with this nonsense. The reason is that so when companies take risk off their balance sheet they are not in the dark that their insurance counterpartys are completely reckless (AIG).

Its very easy to throw raw meat away from the issue and distract the masses, but politicizing a serious problem makes our markets more dangerous, not less.
12:07 AM on 05/22/2010
An understanding of the specific mechanics is not always necessary.
General judgments about an activity can be based on its net effect.
That's why we need not listen to the financial lobbyists telling us that we cannot regulate what only they can understand. The effects are clear enough. In fact, the complicated mechanics of the transactions only serve to obscure their nature.
12:49 AM on 05/22/2010
That is so true. Most derivatives are certainly not "exotic" and most aren't used to "enrich the banking business." Their normally used for risk management not speculation.
07:22 PM on 05/21/2010
do you still think oh-bummer hired rahm / geitner / summers / rubins / bernanke / axelrod?

open your eyes: it's the other way around.
09:37 PM on 05/21/2010
What does Ben Bernanke have to do with any of this? A mildly dovish republican central banker that was elected by a republican president and originally approved by a Republican Senate somehow hired a democratic president. At least give a hint of logic if youre going to make comments in public.
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JPETERB
07:08 PM on 05/21/2010
I thought I just heard from an up and coming new GOP leader that this nation was not, like, into the "blame game" for illegal wars, high crimes in public office, financial fraud, tax evasion and environmental disasters? What just happened?
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mjc
Avoid printing any..
02:43 PM on 05/21/2010
Last week...I think....Lloyd Blankfein had the whole hour on Charlie Rose's show and it is easy to see why Goldman Sachs has been so successful in the new financial era of derivatives and hedge funds. He danced his words around, ALWAYS with a very deferential attitude, spelling out how very complicated and complex the world of finance and investment is. Of course, as he noted, Goldman Sachs saved itself by re-capitalizing itself when the bubble burst...not, however, noting those who didn't survive the risk taking in the company. Think the anthropological setting was very appropriate. Our guys are just a very big family, and we all come together...something like a family. Yeah, this tribe survived through unity when Bear Sterns, Lehman Bros., and others failed to do so. Think some people think that you can only anthropology if the guys aren't wearing suits; not so.
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HamletsMill
All Myth is Astronomy
08:39 PM on 05/21/2010
Here it is:

Lloyd Blankfein, Chief Executive Officer and Chairman of Goldman Sachs

with Lloyd Blankfein
in Current Affairs, Business
on Friday, April 30, 2010

http://www.charlierose.com/view/interview/10989

He should get an Academy Award for acting. Another deluded Harvard sociopath. We are mass producing these people. They have no souls. They have no allegiance to the United States.
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mjc
Avoid printing any..
10:23 AM on 05/22/2010
Couldn't agree more, HanletsMill. Think he even had Charlie a bit buffaloed.
09:47 PM on 05/21/2010
What exactly did you disagree with? Goldman managed risk significantly better than its main rivals (possible exception to JP Morgan, which is a different business model) and got out of the crisis better. Like every other company in america and around the world, they failed to recognize the depth and breadth of the crisis because they couldnt see how risky their primary insurer (AIG) was, but they adapted better than most and had more reserves and got secondary insurance on their liabilities.

They are to investment banking what Apple is to tech - best in breed trading, best management team, best market making. It says a lot when the very firm the government is trying to protect from goldmans products continues to use its trading platform and has not made a single public remark.
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mjc
Avoid printing any..
10:18 AM on 05/22/2010
They also got federal (taxpayer) funding for their losses. And we are in debt to Goldman Sachs for such alums as Rubin, Paulson, Geithner, etcetera, who believe totally in the bottom line and care little or not at all for the unwashed masses out there in America.
02:25 PM on 05/21/2010
After watching/listening to President Obama yesterday afternoon post the cloture vote in the senate and on (i) recalling his, say, audio-wordsmithing after the health care bill passed and (ii) watching the saga of BP in the Gulf of Mexico, I recall having heard of the following dialog, which if myth, is in fact indicative of, apparently, what the country is NOT about, i.e. government of the people, by the people, [and most importantly] for the people.

Questioner: "Do you wish to be president, Sir?"
Answer: {by David Rockefeller} : "Me? ------ President? -------- I make The President!!"
02:23 PM on 05/21/2010
I will use the term "shadow elite" (with more emphasis on "elite") as a point of departure for further thought since big finance (Wall Street) is a horror story for the populace (Main Street), particularly given the shadowy -- nay -- opaque derivatives market whose notional value about two and one half years ago was reported to be circa ten times the GDP of the world!!

Now some among the Shadow Elite are actually hiding out in the open. For instance, the politicians who would not rein in Wall Street e.g. Obama, Dodd, the republicans pointing fingers at Fannie and Freddie instead of directly at Wall Street. These are just some examples. Of course, to the extent that Fannie and Freddie ARE a part of the problem, they need to be dealt with also. For instance, they are/were part private sector and part government sector. Given the collusion between the elites of the governmental and non-governmental sectors, to protect the status quo of privatize the gains (for the elites) and socialize the losses (to the rest), they need, at least, to be restructured.

What we have here is watered down health care "reform", watered down financial "reform" and lots of oil in the water wreaking havoc.
01:11 PM on 05/22/2010
Truth is simple its stories about illuminati and aliens coming to evade our planet. Fact is there is nobody in the seat of the power to determine the rumbo of planet earth. My political activities for the last forty years were noble and documented everyday to find that silver bullet. The ambition grew at this point have design five trillion dollar credit line through my black eagle trust fund. The ideal doctorinfinity in BBC global minds was monday last with program called soft power. May 17, 1972 at MIT was a pioneers of technology meeting headed by C:S:Draper who
got the first contract to put man on the moon. I planted the first question refer to man being selfish, greedy and a liar for not having an alternative to cheap oil. His reply was that an electric train was tried but did prove to be expensive. Later geologist prof. Shrock approached me saying the only way to change it was to destroy everything. This of course made a big impression on me so now the collective organism has grown like a bad weed causing endless harm to many. The research we need is to form a board of intellegent young people and give them all the support we can for they have the most to lose..........best wishes
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biggerjake
Religion poisons everything...
12:51 PM on 05/21/2010
I guess the point of looking at this through the lens of anthropology is to attribute it to a natural trait of human behavior. So the lesson would be to recognize it for what it is when you see it and don’t let yourself fall into it.

The corollary to that would be to recognize what affects human behavior and use that knowledge construct our systems to avoid these problems. For example, we know that rewards for a certain behavior promote that behavior. So if we stop rewarding these people for creating these complicated financial instruments and instead reward them for creating instruments that help manufacturing, entrepreneurship, and things in the real economy, we could avoid this “natural” tendency.

The bottom line is: not all profit is good profit. Economies should be based on adding value, real value that everyone can understand. If you take a piece of wood and turn it into a piece of furniture, you have created value. If you invent some way people can bet on the performance of a certain instrument, and someone must win and someone must lose, you have created nothing, and we must not let any amount of jargon, spin or payoffs convince us otherwise.
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HamletsMill
All Myth is Astronomy
08:43 PM on 05/21/2010
"The bottom line is: not all profit is good profit. Economies should be based on adding value, real value that everyone can understand."

Fanned!
12:42 PM on 05/22/2010
You clearly don't agree with the basic premise of economics - that when two willing parties trade, they do so in their own best interest. Every transaction made by definition has one side going long and one side going short. Allowing people to act in their own interest and allocate money to the greatest use, by definition, is value added.
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suzc
Speak the Truth, even if your voice shakes
08:16 AM on 05/22/2010
I agree with HM and with you! Finally, someone has said it! Would that Wall St and Washington could hear it! Not all profit is good profit! Brilliant! Somehow we have taken the "Why did you climb Mt. Everest?" "Because it was there." and extrapolated that Anything Goes If Somebody Can Benefit! But when anything goes, everything's gone! And that's where we are!
11:26 AM on 05/21/2010
yeah I totally agree. Great article!

http://www.bankreviews.org/
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Scott Zwartz
10:57 AM on 05/21/2010
The idea that journalists could not do anything because derivatives were too difficult to understand is self-serving horse puckey. They are very easy to understand. Wall Street would bundle a lot of mortgages, which it knew had a high high default potential, and then it hired a corrupt rating agency to lie and say the bundle mortgages were Triple AAA rated. Based upon this fraud, people world wide were duped into buying CRAP (capitalist rigged atrocious products). Thus, people around the world discovered that rather than paying income to them as the mortgage payments were made, they got little or no income as the homeowner were defaulting. This scam as a non-complicated word: Fraud. If I roll back the odometer on a car that has been totaled in wreck and tell you that it has only 40,000 miles and is in mint condition, I am engaging in fraud. This is not a complicated concept.

The second part of the corruption was easy to understand. Wall Street knew that it was issuing defective mortgage bundles. Thus, its executives placed "bets" that the defective mortgage bundles were defective. This is the same as betting against a race horse you have just drugged.

We are the most corruption industrialized nation and we have the lowest educational level. When corrupt morons run the show, things tend to go badly. That is why Geithner is Obama's Rumsfeld.
03:19 PM on 05/21/2010
Scott Swartz I think you missed the point of the article, which is that all this activity was done behind smoke and mirrors within financial institutions.

In hindsight we all understand derivatives now because since the crash they have been explained over and over in the press. Did you understand them before the financial bubble burst? That is the point of the article.
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HamletsMill
All Myth is Astronomy
08:48 PM on 05/21/2010
Your point is also well taken. Fanned. The point now is that it was out and out FRAUD yet still NOTHING IS BEING DONE! Especially about NAKED Credit Default Swaps where you can bet against a corporate bond even though you are NOT a counter party! It is out and out GAMBLING that was outlawed for almost 90 years until 1999 and 2001! BOTH Political Parties COMPLETELY FAILED every man, woman, and child in these United States! They are all criminals who should be charged with dereliction of duty in the court of public opinion.

Absolutely SHAMEFUL!
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suzc
Speak the Truth, even if your voice shakes
08:36 AM on 05/22/2010
I didn't understand them until Scott just explained them in the simplest of terms. Our credit-based economy seems to me more like a house of cards and always has. What I understand is that Income should not exceed Outgo. But I guess that's really too simplistic.
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HamletsMill
All Myth is Astronomy
08:44 PM on 05/21/2010
Fanned.
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vippy
Carpe Diem!
09:08 AM on 05/21/2010
to enter the derivative market one has to be able to come up with 1 million dollars! I think it is to block the riff raff, I think it is discriminatory!
08:54 PM on 05/21/2010
That's not true at all. Total hogwash.